Corporate Branch Manager

WHAT YOU WILL DO

• Overall supervisory responsibility for an assigned group of AWM registered individuals and branch/sub-branch office locations under their supervision
• Approval of all new accounts, New Account Application Forms and related required documentation to ensure completeness and follow-up on any deficiencies noted within a reasonable time frame
• Ensure registered individuals are properly registered, do not exceed requirements of their registration, provide all appropriate disclosure forms to clients as required in connection with opening accounts or trading in approved products, disclose all outside business activities to Head Office Compliance, and only conduct activities for which they are registered for or have otherwise obtained approval from Head Office Compliance
• Monitor registered individuals during the initial 90-Day Training Program, the 6-month supervision period and during any periods of ‘close supervision’ as determined by Head Office Compliance
• Complete and provide evidence of and follow up on any deficiencies noted in the daily and monthly trade and account reviews, with such reviews performed in accordance with securities regulatory requirements
• Report any significant client service issues, including allegations of wrongdoing and any verbal or written complaints to Head Office Compliance immediately
• Be responsible for ongoing education and training of both registered and non-registered representatives to ensure awareness of and compliance with new and revised securities regulatory requirements and internal supervisory and compliance policies and procedures
• Ensure all client and branch files are current and up-to-date and contain all required documents
• Effectively control access to supervisory records and files to ensure client confidentiality
• Periodic visits with sub branch locations as part of ensuring overall compliance and effective supervision of registered individuals
• Report regularly to DCCO in relation to:
• Overall level and effectiveness of branch and supervision of registered individuals and compliance with securities regulatory requirements and internal supervisory and compliance policies and procedures
• Specific supervisory challenges relating to registered individuals